Compliance Director, Registered Products

Chartwell Investment Partners

Hybrid
Securities industry compliance
40 act registered product platform
Sec investment company act rules
Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program

Job Summary

  • Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program.
  • Provides compliance support and strategic guidance on a complex ’40 Act registered product platform that includes Mutual Funds, ETFs, CITs, and alternative products such as Interval and Tender Offer Funds.
  • Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.

Matching Summary

Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program.

Skills & Requirements

Must-have

  • Securities industry compliance
  • 40 Act registered product platform
  • SEC Investment Company Act Rules
  • FINRA rules and regulations
  • Regulatory filings and submissions
  • Compliance exception reporting

Nice-to-have

  • Strategic guidance and tactical plans
  • Positive business relationships
  • Continuous evolution of the firm
  • Client-first, integrity, independence

Key Requirements

  • Minimum 10 years compliance/legal/banking/regulatory experience
  • Minimum 5 years management experience
  • Bachelor’s Degree required, Master’s preferred
  • Experience with '40 Act regulatory landscape
  • Experience with SEC Investment Company and Investment Advisers Act Rules

Work Rights

Not specified

Tailored Resume

Cover Letter